Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life licenses...
policies, and industry best practices, ensuring adherence to U.S. securities laws and FINRA/SEC regulations. This role... the development and implementation of robust compliance frameworks to meet SEC, FINRA, and other regulatory requirements...
. Participation in technical coursework such as LOMA, CLU, ChFC desirable. License/Certification/Designation: FINRA Series 6 license...
Management, or Advice Familiarity with Agile frameworks FINRA Requirements FINRA licenses...
Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring...
specified criminal history for the position: FDIC;Safe Act;Loan Originators;FINRA. At Bank of America, we are guided...
Finra License College Degree (preferred, not required) If you're ready to unleash your competitive drive and embark...
) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal...
should have. Required Qualifications: Must be able to read, write, and speak in Spanish or Chinese/Mandarin (or Cantonese). FINRA Series 7 and 63... in trading, engaging with clients in a proactive and consultative manner. Preferred Qualifications: FINRA Series 9-10...
and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed...